Hong Kong,

,

Full-Time

Description of Department

Marex has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights and analytics.

The Onboarding team is part of the Control & Support department and is primarily responsible for ensuring that regulatory, legal and credit-related due diligence are performed when onboarding new clients.
The Onboarding team in the region support multiple offices for their onboarding work.

Overall Responsibilities

Ensure that appropriate CDD / KYC and AML checks are carried out on all new customers and in accordance with local regulatory requirements, in conjunction with the Financial Crime team
Ensure that appropriate customer categorizations are carried out in accordance with local regulatory requirements
Ensure that appropriate client documentation is issued to all new customers and in accordance with local regulatory and any exchange requirements
Ensure that periodic reviews of customer files and on-going monitoring of client relationships is carried out
Manage & prioritise the customer pipeline on a weekly basis with the business
Ensure that the integrity of the static data inputted by the on-boarding team into the Client Data Base (aka PeopleSoft)
Ensure that complete records of all customer documentation are maintained
Ensure that accounts are promptly activated and closed in the Client Database following group policies
To ensure that the Front-Office is advised, as necessary, of the Groups on-boarding policies and documentation requirements
To assist on any other ad-hoc reviews/projects/audits that the assigned by Line manager
Efficiently dealing with general day-to-day ad-hoc queries
To work closely with the Financial Crime team and other stakeholders
Keeping management timely informed of issues/developments

Standard Responsibilities:

Ensuring compliance with the companys regulatory requirements under the FCA, NFA, SFC , Austrac & other regulatory bodies.
Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.
Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.
At all times complying with Marexs Code of Conduct.
To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility.
To report any breaches of policy to Compliance and/ or your supervisor as required.
To escalate risk events immediately.
To provide input to risk management processes, as required.

The Company may require you to carry out other duties from time to time

Competencies, Skills and Experience

Competencies
Work experience in client onboarding function
KYC and risk assessment of clients
Excellent verbal and written communication skills
Self-starting; takes initiative and ownership
Strong prioritisation skills; able to manage to time critical deliverables
Excellent communication especially working with international colleagues and clients
Experience in multiple Asian jurisdictions preferred (Hong Kong, Australia and New Zealand)
Experience and knowledge onboarding APAC clients strongly preferred
Proficient in business language for China market clients
Supported a global business in a follow-the-sun model (preferable)
A collaborative team player, approachable, self-efficient and influences a positive work environment
Demonstrates curiosity
Resilient in a challenging, fast-paced environment
Ability to take a high level of responsibility in a fast pace and high-volume environment
Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.
Worked in support of trading desks is a plus
Able to work align with the Australia market hours or under instruction of the line manager.

Skills and Experience
Analytical skills
Problem solving skills
Experience in AI application (Microsoft Co-Pilot, ChatGPT, Claude will be a plus)
Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

Company Values

Acting as a role model for the values of the Company:

Be collaborative - by working together across the organisation, we foster teamwork, can better respond to challenges and successfully deliver for our clients
Act with integrity - we pride ourselves on our honesty and high ethical standards. We apply these values when working with all our clients, colleagues and other stakeholders
Be adaptable and entrepreneurial - we embrace change as markets evolve to constantly increase our efficiency and create innovative solutions for our clients. We are interested in the world around us and inquisitive about understanding the challenges and opportunities our clients face.
Be respectful how we treat each other, and our clients says everything about who we are. We always act respectfully and treat people fairly in everything we do.
Nurture talent we aim to grow our own talent and make Marex the place ambitious, hardworking and talented people choose to build their career. This means giving and taking stretch opportunities, taking risks, and committing to career development and support for ourselves and our teams.

Conduct Rules

You must:
Act with integrity
Act with due skill, care and diligence
Be open and cooperative with the FCA, the PRA and other regulators (where applicable)
Pay due regard to the interests of customers and treat them fairly
Observe proper standard of market conduct
Act to deliver good outcomes for retail customers

Manage Consent Preferences